Neutral Workshop Audio Files
The Neutral Audio Workshops provide practicing arbitrators and mediators with updates on developments within FINRA's dispute resolution program, such as the latest proposed rule changes, procedures, recent Regulatory Notices. The workshops are pre-recorded by senior Dispute Resolution staff several times each year, and posted here for neutrals to access at anytime.
The most recent Neutral Workshop follows:
February 17, 2012—Embracing 2012 (MP3 37 MB)
The February 17 Neutral Workshop provides an update on ongoing and emerging topics that affect neutrals. Workshop faculty, Linda Fienberg, President; George Friedman, Executive Vice President and Director of Arbitration; and Barbara Brady, Vice President and Director of Neutral Management, discuss:
- case filings, the Customer Option Rule and expanded arbitrator selection lists;
- revisions to the Discovery Guide;
- enhancements to Dispute Resolution’s technology and Internet applications;
- appointment of chair-qualified public arbitrators in promissory note disputes;
- changes to the Arbitrator Disclosure Checklist and the Arbitrator Application;
- arbitrator training; and
- expungement in re procedures.
The following links are referenced during the workshop:
- Dispute Resolution Statistics
- FINRA Arbitration Awards Online
- Regulatory Notice 10-37
- Increase in the Number of Arbitrators Available for Review When Parties Choose Arbitration Panels—Effective Date: September 27, 2010
- Regulatory Notice 11-17
- Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings—Effective Date: May 16, 2011
- Discovery Guide (2011)
- Regulatory Notice 11-22
- Arbitration Panel Composition for Promissory Note Disputes—Effective Date: June 6, 2011
- Previous Neutral Workshop Audio Files
- October 31, 2011—Disclosure
- FINRA Arbitrator Training Online Learning Courses
- Your Duty to Disclose Training Materials
- The Neutral Corner, Volume 4—2011
- Guidelines for Arbitrator Reimbursement
Please send any questions or comments to FINRA DR Call-in Workshop.
Note: FINRA's neutral workshops are pre-recorded, which allows neutrals to pause and playback the audio file.
Listen to previous audio workshops.